Gu, Andrew Ye Yan 顧燁彥
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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Organisation | Role | Activity | From | Until | |
---|---|---|---|---|---|
1 | BARCLAYS CAPITAL ASIA LIMITED | Rep | Dealing in securities | 2007-04-09 | 2008-02-29 |
2 | BEAR STEARNS ASIA LIMITED | Rep | Dealing in securities | 2008-03-12 | 2009-11-23 | Rep | Dealing in futures contracts | 2008-04-30 | 2009-11-23 |
3 | CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG ASSET MANAGEMENT LIMITED | Rep | Asset management | 2017-09-15 | 2019-04-02 |
4 | CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED | Rep | Advising on futures contracts | 2017-07-19 | 2019-04-02 | Rep | Dealing in futures contracts | 2017-07-19 | 2019-04-02 |
5 | CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED | Rep | Advising on securities | 2017-07-19 | 2019-04-02 | Rep | Dealing in securities | 2017-07-19 | 2019-04-02 |
6 | Citigroup Global Markets Asia Limited | Rep | Dealing in securities | 2005-02-01 | 2007-03-09 |
7 | CTI Capital Hong Kong Limited | Rep | Advising on securities | 2015-03-16 | 2015-10-12 | Rep | Asset management | 2015-03-16 | 2015-10-12 |
8 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2008-06-18 | 2010-03-25 | Rep | Dealing in securities | 2008-06-18 | 2010-03-25 | Rep | Advising on futures contracts | 2008-07-14 | 2010-03-25 | Rep | Advising on securities | 2008-07-14 | 2010-03-25 |
9 | SG SECURITIES (HK) LIMITED | Rep | Dealing in securities | 2015-12-08 | 2017-05-12 |
10 | Standard Chartered Securities (Hong Kong) Limited | Rep | Dealing in securities | 2012-07-19 | 2013-05-07 | Rep | Advising on futures contracts | 2013-02-14 | 2013-05-07 | Rep | Dealing in futures contracts | 2013-02-14 | 2013-05-07 |
11 | THORNBURG INVESTMENT MANAGEMENT (ASIA) LIMITED | RO | Dealing in securities | 2020-10-20 | RO | Asset management | 2022-09-30 |
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